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Nov 24, 2020, 14:20 ET Enforcement Notice - Decision - IIROC Sanctions Mackie Research Capital Corporation

TORONTO, Nov. 24, 2020 /CNW/ - On November 12, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between...


Nov 24, 2020, 12:00 ET Enforcement Notice - Hearing - IIROC Begins Disciplinary Action Against Gary Man Kin Ng and Donald Warren Metcalfe

VANCOUVER, BC, Nov. 24, 2020 /CNW/ - An appearance has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) for the purpose of setting a date for ...


Nov 19, 2020, 13:45 ET Enforcement Notice - Hearing - IIROC to Hold Disciplinary Hearings for Joseph Anthony Thomson and Douglas Gerald McRae

TORONTO, Nov. 19, 2020 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matters of Joseph Anthony Thomson and...


Nov 10, 2020, 17:24 ET Enforcement Notice - Hearing - IIROC Holds Discipline Hearing for Former Toronto Investment Advisor Alfred Drose

TORONTO, Nov. 10, 2020 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Alfred Drose. The hearing...


Nov 09, 2020, 15:10 ET Enforcement Notice - Hearing - IIROC to Hold Settlement Hearing For Mackie Research Capital Corporation

TORONTO, Nov. 9, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has scheduled a hearing to consider whether a Settlement Agreement entered into between IIROC staff and ...


Nov 05, 2020, 14:00 ET Enforcement Notice - Hearing - IIROC Begins Disciplinary Action Against Burlington Investment Advisor Bonnie Wyatt

BURLINGTON, ON, Nov. 5, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) will set a date for a disciplinary hearing in the matter of Bonnie Wyatt. The discipline hearing ...


Nov 05, 2020, 07:00 ET Independent Studies Show Investment Industry Strives to Provide Comprehensive Financial Advice to Best Serve Canadians but Regulatory Burden and Silos Create Unnecessary Challenges

TORONTO, Nov. 5, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today released two studies that show how mutual fund advisors and dealers are striving to provide...


Oct 28, 2020, 14:10 ET Enforcement Notice - Decision - IIROC Hearing Panel Issues Motion Decision in the Matter of Gordon Albert Malic

ST. ALBERT, AB, Oct. 28, 2020 /CNW/ - On October 6, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) heard a motion brought by Gordon Albert Malic. The...


Oct 26, 2020, 15:10 ET Enforcement Notice - Decision - IIROC Fines Former Vancouver Investment Advisor Paul Brum

VANCOUVER, BC, Oct. 26, 2020 /CNW/ - On October 7, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between...


Oct 23, 2020, 14:15 ET Enforcement Notice - Hearing - IN THE MATTER OF Douglas John Eley - Review Requested

TORONTO, Oct. 23, 2020 /CNW/ - On October 7, 2020, Douglas John Eley filed a Request for a Hearing and Review to the Ontario Securities Commission seeking a review of an IIROC Hearing Panel decision...


Oct 15, 2020, 17:18 ET Enforcement Notice - Hearing - IIROC Reschedules Disciplinary Hearing for Former Richmond Investment Advisor Alberto Storelli

RICHMOND, BC, Oct. 15, 2020 /CNW/ - A discipline hearing was originally scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Alberto...


Oct 14, 2020, 14:15 ET Enforcement Notice - Decision - IIROC Sanctions Oakville Investment Advisor Douglas John Eley

TORONTO, Oct. 14, 2020 /CNW/ - Following a penalty hearing held on September 14, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) imposed the following...


Oct 08, 2020, 15:30 ET Enforcement Notice - Decision - IIROC Hearing Panel Issues Motion Decision in the Matter of Former BBS Securities Inc. UDP Bardya Ziaian

TORONTO, Oct. 8, 2020 /CNW/ - Following a motion heard on September 23, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) dismissed Mr. Ziaian's motion to...


Oct 08, 2020, 13:15 ET Enforcement Notice - Hearing - IN THE MATTER OF Shirley Locke - Review Requested

HALIFAX, NS, Oct. 8, 2020 /CNW/ - On June 26, 2020, Shirley Locke filed a Request for a Hearing and Review to the Nova Scotia Securities Commission (NSSC), seeking a review of an IIROC Hearing Panel...


Oct 08, 2020, 12:10 ET Enforcement Notice - Decision - IIROC Sanctions Sudbury Investment Advisor Merlyn Black

SUDBURY, ON, Oct. 8, 2020 /CNW/ - On September 28, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between...


Sep 30, 2020, 14:15 ET Enforcement Notice - Decision - IIROC Sanctions Vancouver Investment Advisor Dwight Cameron Mann

VANCOUVER, BC, Sept. 30, 2020 /CNW/ - Following a penalty hearing held on July 6 -7, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) imposed the following...


Sep 29, 2020, 15:05 ET Enforcement Notice - Hearing - IIROC Hearing Panel to Hear Motion in the Matter of Gordon Albert Malic

ST. ALBERT, AB, Sept. 29, 2020 /CNW/ - A motion has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) in the matter of Gordon Albert Malic....


Sep 25, 2020, 14:46 ET Enforcement Notice - Hearing - IIROC to Hold Settlement Hearing for Former Vancouver Investment Advisor Paul Brum

VANCOUVER, BC, Sept. 25, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has scheduled a hearing to consider whether a Settlement Agreement entered into between IIROC...


Sep 24, 2020, 14:05 ET Enforcement Notice - Hearing - IIROC begins disciplinary action against PACE Securities Corp.'s former Chief Executive Officer and former Chief Compliance Officer

TORONTO, Sept. 24, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) has scheduled an appearance to set a date for the disciplinary hearing in the matters of Joseph...


Sep 23, 2020, 12:20 ET IIROC Board of Directors Elected for 2020-21

TORONTO, Sept. 23, 2020 /CNW/ - At the Annual General Meeting of the Investment Industry Regulatory Organization of Canada (IIROC) on September 22, 2020, IIROC elected or re-elected individuals to...


Sep 21, 2020, 17:36 ET Enforcement Notice - IIROC Hearing Panel Finds Former Barrie Investment Advisor Alvin Rupert Jones Liable

A separate hearing will be held to determine the penalty to be imposed BARRIE, ON, Sept. 21, 2020 /CNW/ - A Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) found...


Sep 21, 2020, 15:10 ET Enforcement Notice - Decision - IIROC Sanctions Toronto Investment Advisor Aaron Jay Rowlatt

TORONTO, ON, Sept. 21, 2020 /CNW/ - On September 9, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between ...


Sep 21, 2020, 10:06 ET IIROC Annual Report charts progress made to protect investors and support industry transformation

TORONTO, Sept. 21, 2020 /CNW/ - The Investment Industry Regulatory Organization of Canada (IIROC) today released its Annual Report for 2019-2020, highlighting how the public interest regulator is...


Sep 17, 2020, 14:10 ET Enforcement Notice - Hearing - IIROC Holds Disciplinary Hearing Regarding Former BBS Securities Inc. UDP Bardya Ziaian

A motion has also been scheduled in this matter TORONTO, Sept. 17, 2020 /CNW/ - A hearing has been scheduled before a Hearing Panel of the Investment Industry Regulatory Organization of Canada...


Sep 17, 2020, 13:15 ET Enforcement Notice - Decision - IIROC Sanctions Halifax Investment Advisor Shirley Locke

HALIFAX, NS, Sept. 17, 2020 /CNW/ - Following a penalty hearing held on July 20, 2020, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) imposed the following...